Securities Lawyers Blog

Broker Grace Henderson in Pnc Investments Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Grace Henderson (Henderson), previously associated with Pnc Investments, has at least one disclosable event. These events include one customer complaint, alleging that Henderson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $28,547.00 on April 19, 2023.

Client alleges representative did not make her aware of potential taxes on sale of assets to open an advisory account

Broker Ronald Stortz in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Stortz (Stortz), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stortz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimant alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimant further alleged that the Representative misrepresented the risks and potential for future income and growth.

There are Recent Customer Complaints with Broker Jeffrey Peters in Firm Ausdal Financial Partners, INC.

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Peters (Peters), currently associated with Ausdal Financial Partners, INC., has at least one disclosable event. These events include one customer complaint, alleging that Peters recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $65,000.00 on April 24, 2023.

Unsuitable Investments, Violation of securities laws, Breach of contract, Breach of fiduciary duty

Broker Keith Morris in Steward Partners Investment Solutions, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Keith Morris (Morris), currently associated with Steward Partners Investment Solutions, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $27,069.22 on April 21, 2023.

Client alleged a benefit rider was misapplied to the annuity.

Broker Alex Lee in Cetera Wealth Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Lee (Lee), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 25, 2024.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that Representative misrepresented the risks and potential for future income and growth of the product.

Broker Katherine Nishnic in Centaurus Financial, INC. Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katherine Nishnic (Nishnic), currently associated with Centaurus Financial, INC., has at least one disclosable event. These events include one customer complaint, alleging that Nishnic recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $88,000.00 on April 27, 2023.

The customer alleges that in March of 2019, the Registered Representative recommended unsuitable, high-risk, speculative and illiquid investments and breached her fiduciary duty.

Broker Nir Regev in Dfpg Investments, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nir Regev (Regev), currently associated with Dfpg Investments, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Regev recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $278,680.61 on April 19, 2023.

Client alleges illiquid investments are not suitable nor prudent.

Broker Dean Paugh in Raymond James & Associates, INC. Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Paugh (Paugh), currently associated with Raymond James & Associates, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Paugh recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $54,770.50 on April 18, 2023.

The client alleges investments were not suitable.

There are Recent Customer Complaints with Broker Stephen Colantuono in Firm Osaic Wealth, INC.

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Colantuono (Colantuono), currently associated with Osaic Wealth, INC., has at least one disclosable event. These events include one customer complaint, alleging that Colantuono recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 26, 2024.

Claimants alleged that the Representative recommended a Real Estate Investment Trust that was unsuitable, and resulted in a substantial loss. Claimants further alleged that Representative misrepresented the risks and potential for future income.

Broker Larry Clayton in Arete Wealth Management, LLC Firm Has Customer Complaint

October 17, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Larry Clayton (Clayton), previously associated with Arete Wealth Management, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clayton recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $312,000.00 on February 01, 2024.

In 2024, a customer filed an arbitration claim with the American Arbitration Association.\\u00a0 The statement of claim alleged violations of state securities statues, consumer protection laws, and common law claims.\\u00a0 The matter was resolved though settlement without any admission of liability and the arbitration was dismissed with prejudice in 2025.